Compliance & Controls
Navigating the ever-changing waters of regulation and compliance…
Our professionals are comfortable in the financial regulatory environment and can guide you through by leveraging our experience, industry knowledge and creativity. We listen to your concerns and customize an action plan that increases, if not reaches, your compliance goals. We understand the business mission and know how to balance it with compliance requirements.
We work closely with boards and senior management to help document internal controls, policies and procedures. This is critical for public companies, and is the basis for achieving compliance with the Sarbanes-Oxley Act of 2002. We assess, design and recommend improvements in processes and controls. We provide efficient, objective testing of controls and compliance procedures using pre-established templates and reporting tools. Independent auditors rely upon our work, minimizing their efforts.
Over the years, we have guided many companies through Foreign Corrupt Practices Act (FCPA) compliance, both preventative and remediation. Our consultancy with companies involved in a Deferred Prosecution Agreement and an assigned Monitor provides us with a “real world” perspective of what is required for compliance. We work with corporate counsel and senior management to develop, document and implement effective procedures that provide transparency and control around FCPA related transactions.
Doing business in the US, as well as globally, requires you to understand your compliance risk profile. Through our proven approach, we can efficiently and effectively help you identify those areas of higher risk and assist with the implementation of processes and controls to reduce the risks. We have successfully implemented our process for companies in multiple locations throughout the world.
Our compliance expertise includes the following:
- Sarbanes-Oxley Act (SOX)
- Foreign Corrupt Practices Act (FCPA)
- Risk Assessment
- Information Technology General Controls (ITGC)
- Internal Controls
Let Compliance and Control solutions from Morgan Garris help your business navigate the channels of financial regulation and compliance.